Compliance Associate
About The Position
The Compliance Associate will work closely with members of BDT & MSD’s Legal & Compliance team to ensure regulatory compliance across the platform. The Associate will primarily focus on implementation of controls relating to the firm’s compliance program, including firm and personal trading, conflict clearance, certifications, training, testing and KYC. BDT & MSD is looking for an individual with an interest in learning all aspects of compliance and will demonstrate a high level of personal and intellectual integrity, curiosity, ability to build strong relationships, and proactively contribute to the team
Requirements
- Bachelor’s degree with an excellent record of academic achievement
- 2025 or 2026 J.D. degree or 2+ years of Compliance experience with a SEC-Registered Investment Advisor
Nice To Haves
- Demonstrated interest in financial markets and securities market regulation
- Ability to think critically and solve challenges with innovative solutions
- High ethical standards
- Motivated team player with ability to work independently, take initiative, and deliver results
- Ability to perform at a high-level within a fast paced, entrepreneurial culture with a focus on excellence
- Ability to manage ad hoc projects proactively, independently and to completion
- Strong organizational and communication skills, as well as a demonstrated ability to write effectively
Responsibilities
- Assist in the drafting, maintenance, and implementation of policies, procedures, and trainings
- Assist in KYC and other deal related tasks
- Assist in conflict clearance relating to investment opportunities and preclearance of Firm Trading
- Document issues and implement solutions in a timely manner after discovery and resolutions
- Participate in internal and external reviews of the firm’s compliance program
- Assist with regulatory filings (SEC (ADV, Form PF, Section 13 and 16), CFTC, BEA, Department of Treasury) and other general compliance matters and projects as needed
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
